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United States
Enforcement
US Court Orders Return of Ex-Goldman Banker Roger Ng to Malaysia
By Manesh Samtani | 07/10/2023
Roger Ng already has to serve ten years in a US prison, but he will first be transported back to Malaysia to face other 1MDB-related charges and help in the 1MDB probe.
ESG / Sustainability
US Treasury Principles Aim to Make Net Zero “the Norm”
By ESG Investor | 06/10/2023
Principles announced by Treasury Secretary Janet Yellen put emphasis on Scope 3 reporting from financial institutions and measurable targets.
Sanctions
OFAC Sanctions China-based Network for Fentanyl Production, Trafficking
By Editors | 04/10/2023
The DOJ unsealed indictments charging Chinese companies and their employees for illicit drug production, distribution, and sales of precursor chemicals.
ESG / Sustainability
Philippine SEC Consults on Revised Sustainability Reporting Guidelines
By Editors | 04/10/2023
Listed companies will be required to submit sustainability reports in two formats. Consultation is open until 16 October.
Market Infrastructure
HKEX Sets Launch Date for New Stock Connect Settlement Platform
By Editors | 04/10/2023
The settlement acceleration platform, known as HKEX Synapse, will launch on 9 October 2023 and improve post-trade efficiencies.
Enforcement
US Judge Denies SEC Permission to Appeal Ripple Ruling
By Editors | 04/10/2023
The July ruling found that programmatic sales of Ripple’s XRP digital token on public exchanges was not a breach of federal securities laws.
Capital / Liquidity
FDIC Proposes Enhanced Corporate Governance Guidelines for Banks
By Sanday Chongo Kabange | 04/10/2023
The guidelines will be applicable to insured depository institutions with consolidated assets of USD 10 billion or more.
Big Picture
Generative AI’s Growing Impact on Capital Markets
By Ranamita Chakraborty | 04/10/2023
Panellists at the ASIFMA Tech & Ops Conference discussed the key applications of generative AI in capital markets and strategies for addressing risks.
Securities / Derivatives
Philippine Stock Exchange Issues Final Short Selling Guidelines
By Sanday Chongo Kabange | 04/10/2023
The PSE said the SEC and BIR approved critical components of SBL transactions. A separate announcement will be made about the official launch date.
Enforcement
CFTC Fines Goldman for Failing to Prevent Disruptive Trading
By Mark Johnston | 03/10/2023
Goldman’s surveillance was not properly monitoring for disruptive trading and its preventative control to suspend such trading malfunctioned.
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